13F-HR/A filed by JPMORGAN CHASE & CO
JPMORGAN CHASE & CO filed this 13F-HR/A for the quarter ended 2018-09-30, filed 2018-11-13, with 5,734 holding rows worth $522,198,519,000.
- Accession
- 0000019617-18-000246
- Filer
- CIK 19617
- Filed
- 2018-11-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2018
A combination report, amendment of type restatement, 21,465 entries on the cover page, a total value of $522,198,519,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $522,198,519,000 with VALUE read as thousands by filing date, 13F file number 028-00694. The quarter's positions are built on this report. The resolved quarter.
Other managers
- reports for this filerRussell Investments Group, Ltd.028-17598
- included managerJ.P. Morgan Trust Co of Delaware028-12125
- included managerJPMorgan Chase Bank, N.A.028-00123
- included managerJ.P. Morgan Investment Management Inc.028-11937
- included managerJ.P. Morgan Securities LLC028-11925
- included managerJ.P. Morgan Securities plc028-12006
- included managerJ.P. Morgan Whitefriars LLC028-12007
- included managerJPMorgan Asset Management (UK) Ltd028-11947
- included managerJPMorgan Asset Management (Canada) Inc.028-14957
- included managerJ.P. Morgan Private Investments Inc.028-16931
- included managerJ.P. Morgan (Suisse) SA028-17025
- included managerJ.P. Morgan GT Corp028-17027
- included managerJF Asset Management Ltd028-17029
- included managerJPMorgan Asset Management (Japan) Ltd028-14958
- included managerJPMorgan Asset Management (Singapore) Ltd028-17030
- included managerJPMorgan Asset Management (Taiwan) Ltd028-17031
- included managerJPMorgan Funds (Asia) Ltd028-17032
- included managerMLP Investment Holdings, Inc.028-17033
- included managerJ.P. Morgan International Bank Ltd028-17034
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| BANCO BRADESCO S A | 059460903 | SP ADR PFD NEW | 13,400 | $95,000 | thousands by filing date | call |
| MODEL N INC | 607525102 | COM | 5,977 | $95,000 | thousands by filing date | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 6,399 | $95,000 | thousands by filing date | |
| MEDEQUITIES RLTY TR INC | 58409L306 | COM | 9,829 | $95,000 | thousands by filing date | |
| IMPINJ INC | 453204109 | COM | 3,783 | $94,000 | thousands by filing date | |
| STEALTHGAS INC | Y81669106 | COM | 26,433 | $94,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727U105 | COM | 19,738 | $94,000 | thousands by filing date | |
| DIEBOLD NXDF INC | 253651103 | COM | 20,873 | $94,000 | thousands by filing date | |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 94,000 | $94,000 | thousands by filing date | principal |
| PLDT INC SPONSORED ADR | 69344D408 | ADR | 3,589 | $93,000 | thousands by filing date | |
| MAYS J W INC | 578473100 | COM | 2,456 | $93,000 | thousands by filing date | |
| PROSHARES TR | 74347B680 | S&P MDCP 400 DIV | 1,621 | $92,000 | thousands by filing date | |
| KERYX BIOPHARMACEUTICALS | 492515101 | COMMON STOCK | 26,969 | $92,000 | thousands by filing date | |
| SEALED AIR CORP NEW | 81211K950 | PUT | 2,300 | $92,000 | thousands by filing date | put |
| AMERISOURCEBERGEN COR | 000307108 | COMMON | 12,049 | $92,000 | thousands by filing date | |
| PREFORMED LINE PRODS CO | 740444104 | COM | 1,296 | $91,000 | thousands by filing date | |
| MATTEL INC | 577081952 | PUT | 5,800 | $91,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F437 | COM | 3,092 | $90,000 | thousands by filing date | |
| LIFECOREBIOMEDICALINC | 514766104 | STOK | 6,279 | $90,000 | thousands by filing date | |
| ZEALAND PHARMA A/S | 98920Y304 | CMN | 5,477 | $90,000 | thousands by filing date | |
| D R HORTON INC | 23331A959 | COM | 2,100 | $89,000 | thousands by filing date | put |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 5,195 | $89,000 | thousands by filing date | |
| SPIRIT OF TEX BANCSHARES INC | 84861D103 | COM | 4,142 | $89,000 | thousands by filing date | |
| GENIE ENERGY LTD | 372284208 | CL B | 16,383 | $88,000 | thousands by filing date | |
| FARMERS MERCHANTS BANCO OH | 30779N105 | COMMON STOCK | 2,069 | $88,000 | thousands by filing date | |
| MISTRAS GROUP INC | 60649T107 | COMMON STOCK | 4,055 | $88,000 | thousands by filing date | |
| ISHARES MSCI BIC ETF | 464286657 | ETF | 2,187 | $88,000 | thousands by filing date | |
| TILE SHOP HLDGS INC | 88677Q109 | COMMON STOCK | 12,199 | $88,000 | thousands by filing date | |
| MIDDLEFIELD BANC CORP | 596304204 | COM NEW | 1,871 | $88,000 | thousands by filing date | |
| CORBUS PHARMACEUTICALS HLDGS | 21833P103 | COM | 11,554 | $87,000 | thousands by filing date | |
| CAPITAL SOUTHWEST CORP | 140501107 | COM | 4,556 | $86,000 | thousands by filing date | |
| BYLINE BANCORP INC | 124411109 | COM | 3,775 | $86,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 10,619 | $86,000 | thousands by filing date | |
| ALLAKOS INC | 01671P100 | COM | 1,918 | $86,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W703 | INTL EQUITY FD | 1,606 | $85,000 | thousands by filing date | |
| PROSHARES TR | 74347X625 | ULT R/EST NEW | 1,294 | $85,000 | thousands by filing date | |
| TTEC HLDGS INC | 89854H102 | COM | 3,278 | $85,000 | thousands by filing date | |
| AXA EQUITABLE HLDGS INC | 054561105 | COM | 3,966 | $85,000 | thousands by filing date | |
| DEL TACO RESTAURANTS INC NEW | 245496104 | COM | 7,197 | $85,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734X184 | UTILITIES ALPH | 3,051 | $84,000 | thousands by filing date | |
| CLEAN ENERGY FUELS CORP | 184499101 | COMMON STOCK | 31,982 | $84,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y201 | COMMON STOCK | 5,203 | $84,000 | thousands by filing date | |
| ENDOLOGIX INC | 29266S106 | COM | 43,842 | $84,000 | thousands by filing date | |
| APTIV PLC | G6095L909 | OPTION | 1,000 | $84,000 | thousands by filing date | call |
| SIGA TECHNOLOGIES INC COM | 826917106 | Stock | 12,024 | $83,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 4,882 | $83,000 | thousands by filing date | |
| ALICO INC | 016230104 | COM | 2,468 | $83,000 | thousands by filing date | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 3,600 | $83,000 | thousands by filing date | |
| NORTHERN TECHNOLOGIES INTL C | 665809109 | COM | 2,400 | $83,000 | thousands by filing date | |
| SSGA ACTIVE ETF TR | 78467V202 | ST STR INCOM ETF | 2,548 | $83,000 | thousands by filing date | |
| INSYS THERAPEUTICS INC | 45824V209 | COMMON STOCK | 8,196 | $83,000 | thousands by filing date | |
| ZAFGEN INC | 98885E103 | COM | 7,060 | $83,000 | thousands by filing date | |
| CHINA INTERNET NATIONWIDE FI | G2120A101 | SHS | 9,703 | $83,000 | thousands by filing date | |
| iShares Core Aggressive Allocation ETF | 464289859 | SHS | 1,500 | $82,000 | thousands by filing date | |
| RBB BANCORP | 74930B105 | COMMON STOCK | 3,350 | $82,000 | thousands by filing date | |
| DIGIMARC CORP NEW COM | 25381B101 | COM | 2,596 | $82,000 | thousands by filing date | |
| KVH INDS INC | 482738101 | COM | 6,097 | $80,000 | thousands by filing date | |
| JERNIGAN CAP INC | 476405105 | COM | 4,170 | $80,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 24,062 | $80,000 | thousands by filing date | |
| POINTER TELOCATION LTD | M7946T104 | SHS | 6,128 | $80,000 | thousands by filing date | |
| HOME BANCORP INC | 43689E107 | COMMON STOCK | 1,812 | $79,000 | thousands by filing date | |
| INTREPID POTASH INC | 46121Y102 | COM | 22,127 | $79,000 | thousands by filing date | |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 1,727 | $79,000 | thousands by filing date | |
| WISDOMTREE TOTAL EARNINGS | 97717W596 | TTL | 2,373 | $79,000 | thousands by filing date | |
| INVESTORS TITLE CO | 461804106 | COMMON STOCK | 463 | $78,000 | thousands by filing date | |
| BIOSPECIFICS TECHNOLOGIES | 090931106 | COM | 1,333 | $78,000 | thousands by filing date | |
| FIDELITY COVINGTON TRUST | 316092881 | MSCI MATLS INDEX | 2,300 | $77,000 | thousands by filing date | |
| GOOSEHEAD INS INC | 38267D109 | COM CL A | 2,260 | $77,000 | thousands by filing date | |
| HINGHAM INSTN SVGS MASS | 433323102 | COM | 352 | $77,000 | thousands by filing date | |
| CIVISTA BANCSHARES INC | 178867107 | COMMON STOCK | 3,189 | $77,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 11,230 | $77,000 | thousands by filing date | |
| ENTERPRISE BANCORP INC MASS COM | 293668109 | Stock | 2,232 | $77,000 | thousands by filing date | |
| CAMBRIDGE BANCORP | 132152109 | COM | 855 | $77,000 | thousands by filing date | |
| LEJU HLDGS LTD | 50187J108 | SPONSORED ADS | 44,260 | $77,000 | thousands by filing date | |
| KADMON HLDGS INC | 48283N106 | COM | 23,094 | $77,000 | thousands by filing date | |
| ISHARES INC | 46434G764 | MSCI EMRG CHN | 1,540 | $76,000 | thousands by filing date | |
| BROWN FORMAN CORP | 115637100 | CL A | 1,490 | $76,000 | thousands by filing date | |
| SPROTT ASSET MANAGEMENT LP | 85208R101 | PHYSICAL GOLD AN | 6,485 | $76,000 | thousands by filing date | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 30,498 | $76,000 | thousands by filing date | |
| 22ND CENTY GROUP INC | 90137F103 | COM | 26,913 | $76,000 | thousands by filing date | |
| ELECTROCORE INC | 28531P103 | COM | 5,398 | $76,000 | thousands by filing date | |
| LANTRONIX INC | 516548203 | COMMON STOCK | 18,348 | $75,000 | thousands by filing date | |
| INDEPENDENCE HLDG CO | 453440307 | COMMON STOCK | 2,090 | $75,000 | thousands by filing date | |
| Vanguard Consumer Staples ETF | 92204A207 | SHS | 531 | $74,000 | thousands by filing date | |
| ISHARES TR | 46435G102 | CONV BD ETF | 1,235 | $74,000 | thousands by filing date | |
| NORDIC AMERICAN TANKERS LIMI | G65773106 | COM | 35,073 | $74,000 | thousands by filing date | |
| GREIF INC | 397624206 | CL B | 1,291 | $74,000 | thousands by filing date | |
| FARMER BROS CO | 307675108 | COM | 2,830 | $74,000 | thousands by filing date | |
| ALTISOURCE PORTFOLIO SOLNS S | L0175J104 | REG SHS | 2,309 | $74,000 | thousands by filing date | |
| 1 800 FLOWERS COM INC | 68243Q106 | CL A | 6,216 | $73,000 | thousands by filing date | |
| MVC CAPITAL INC | 553829102 | COM | 7,521 | $73,000 | thousands by filing date | |
| SOUTHERN NATL BANCORP OF VA | 843395104 | COM | 4,527 | $73,000 | thousands by filing date | |
| JUPAI HLDGS LTD | 48205B107 | ADS | 8,522 | $73,000 | thousands by filing date | |
| PDVWIRELESS INC | 69290R104 | COM | 2,168 | $73,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 40,551 | $72,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 4,983 | $72,000 | thousands by filing date | |
| COLUMBIA ETF TR II | 19762B509 | RESEARCH ENHANCD | 3,200 | $71,000 | thousands by filing date | |
| NATIONAL BANKSHARES INC VA | 634865109 | COMMON STOCK | 1,566 | $71,000 | thousands by filing date | |
| SOUTHERN FIRST BANCSHARES | 842873101 | COMMON STOCK | 1,813 | $71,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 6,027 | $71,000 | thousands by filing date | |
| WISDOMTREE JAPAN SMALLCAP DIVIDEND FUND | 97717W836 | ETF | 902 | $70,000 | thousands by filing date | |
| ALBIREO PHARMA INC | 01345P106 | COMMON STOCK | 2,110 | $70,000 | thousands by filing date | |
| POTBELLY CORP | 73754Y100 | COM | 5,703 | $70,000 | thousands by filing date | |
| FIRST INTERNET BANCORP | 320557101 | COM | 2,262 | $69,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 5,713 | $69,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 4,096 | $68,000 | thousands by filing date | |
| FIRST BANCORP INC ME | 31866P102 | COMMON STOCK | 2,353 | $68,000 | thousands by filing date | |
| PEOPLES FINANCIAL SERVICES | 711040105 | COMMON STOCK | 1,596 | $68,000 | thousands by filing date | |
| COCA-COLA EUROPACIFIC PARTNE | G25839904 | CALL | 1,500 | $68,000 | thousands by filing date | call |
| HARBORONE BANCORP INC | 41165F101 | COM | 3,552 | $68,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 8,310 | $67,000 | thousands by filing date | |
| CANOPY GROWTH CORP | 138035100 | COM | 1,375 | $67,000 | thousands by filing date | |
| ARROWHEAD PHARMACEUTICALS IN | 04280A900 | CALL | 3,500 | $67,000 | thousands by filing date | call |
| PIERIS PHARMACEUTICALS INC | 720795103 | COM | 12,026 | $67,000 | thousands by filing date | |
| U S XPRESS ENTERPRISES INC | 90338N202 | COM | 4,854 | $67,000 | thousands by filing date | |
| PANHANDLE OIL AND GAS INC | 698477106 | CL A | 3,651 | $67,000 | thousands by filing date | |
| TRECORA RES | 894648104 | COM | 4,802 | $67,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 64,000 | $67,000 | thousands by filing date | principal |
| ELFBEAUTYINC | 26856L103 | STOK | 5,160 | $66,000 | thousands by filing date | |
| GABELLI EQUITY TR INC COM | 362397101 | CEF | 10,215 | $66,000 | thousands by filing date | |
| ISHARES TR | 464287838 | U.S. BAS MTL ETF | 675 | $66,000 | thousands by filing date | |
| UNITED STS LIME & MINERALS I | 911922102 | COM | 826 | $66,000 | thousands by filing date | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 1,360 | $66,000 | thousands by filing date | |
| INVESCO INTERNATIONAL CORPORAT | 46138E636 | INTL CORP BD | 2,522 | $66,000 | thousands by filing date | |
| CHEMOCENTRYX INC | 16383L106 | COM | 5,203 | $66,000 | thousands by filing date | |
| LSB INDS INC | 502160104 | COM | 6,755 | $66,000 | thousands by filing date | |
| BUSINESS FIRST BANCSHARES | 12326C105 | COMMON STOCK | 2,470 | $66,000 | thousands by filing date | |
| ENVIVA PARTNERS LP | 29414J107 | COM UNIT | 2,040 | $65,000 | thousands by filing date | |
| ISHARES U S ETF TR | 46431W606 | IT RT HDG HGYL | 701 | $65,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H208 | COMMON STOCK | 2,063 | $65,000 | thousands by filing date | |
| ISHARES TR | 464288422 | S&P DEV EX-US | 1,748 | $65,000 | thousands by filing date | |
| ENTEGRA FINL CORP | 29363J108 | COM | 2,462 | $65,000 | thousands by filing date | |
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 709 | $64,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 6,316 | $64,000 | thousands by filing date | |
| BSB BANCORP INC MD | 05573H108 | COM | 1,951 | $64,000 | thousands by filing date | |
| Vanguard Short-Term Treasury ETF | 92206C102 | SHS | 1,049 | $63,000 | thousands by filing date | |
| MANNKIND CORP COM NEW | 56400P706 | Stock | 34,443 | $63,000 | thousands by filing date | |
| DAILY JOURNAL CORP | 233912104 | COM | 260 | $63,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 19,067 | $63,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 8,812 | $63,000 | thousands by filing date | |
| BAYCOM CORP | 07272M107 | COMMON STOCK | 2,370 | $63,000 | thousands by filing date | |
| CULP INC | 230215105 | CMN | 2,585 | $63,000 | thousands by filing date | |
| CHESAPEAKE GRANITE WASH TRUST | 165185109 | COMMON STOCK | 38,489 | $63,000 | thousands by filing date | |
| SEASPINE HLDGS CORP | 81255T108 | COM | 4,062 | $63,000 | thousands by filing date | |
| CODORUS VY BANCORP INC | 192025104 | COM | 2,009 | $63,000 | thousands by filing date | |
| BOJANGLES INC | 097488100 | COM | 4,033 | $63,000 | thousands by filing date | |
| VANGUARD S&P SMALL-CAP 600 ETF | 921932828 | ETF | 388 | $62,000 | thousands by filing date | |
| WILLDAN GROUP INC | 96924N100 | COM | 1,820 | $62,000 | thousands by filing date | |
| SMARTFINANCIAL INC | 83190L208 | COMMON STOCK | 2,632 | $62,000 | thousands by filing date | |
| REGIONAL MANAGEMENT CORP | 75902K106 | COMMON STOCK | 2,158 | $62,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348T952 | COM | 8,400 | $62,000 | thousands by filing date | put |
| ADVISORSHARES | 00768Y883 | EXCHANGE TRADED | 8,360 | $62,000 | thousands by filing date | |
| Viacom Inc Cl A | 92553P102 | CL A | 1,704 | $62,000 | thousands by filing date | |
| HANWHA Q CELL CO LTD | 41135V301 | SPONSORED ADR NE | 7,536 | $62,000 | thousands by filing date | |
| SOUTHERN MISSOURI BANCORP | 843380106 | COMMON STOCK | 1,644 | $61,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E578 | BLOOM DATA ETF | 1,100 | $61,000 | thousands by filing date | |
| PERMROCK ROYALTY TRUST | 714254109 | TR UNIT | 4,983 | $61,000 | thousands by filing date | |
| ARATANA THERAPEUTICS INC | 03874P101 | COM | 10,526 | $61,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524748 | FUNDAMENTAL INTL | 1,752 | $60,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663109 | CL A | 3,975 | $60,000 | thousands by filing date | |
| ASCENDIS PHARMA A/S DKK 1.0 AD | 04351P101 | SPONSORED ADR | 852 | $60,000 | thousands by filing date | |
| CERAGON NETWORKS LTD ORD | M22013102 | Stock | 17,900 | $60,000 | thousands by filing date | |
| ALLOT LTD | M0854Q105 | SHS | 9,788 | $60,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33739Q507 | SSI STRG ETF | 1,959 | $60,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 5,169 | $60,000 | thousands by filing date | |
| ETFMG | 26924G508 | EXCHANGE TRADED | 1,500 | $60,000 | thousands by filing date | |
| RELIANT BANCORP INC | 75956B101 | COM | 2,340 | $60,000 | thousands by filing date | |
| PAR TECHNOLOGY CORP | 698884103 | COM | 2,636 | $59,000 | thousands by filing date | |
| ACNB CORP | 000868109 | COMMON STOCK | 1,582 | $59,000 | thousands by filing date | |
| LUNA INNOVATIONS INC | 550351100 | COM | 18,205 | $59,000 | thousands by filing date | |
| VIRNETX HLDG CORP | 92823T108 | COM | 12,739 | $59,000 | thousands by filing date | |
| SUMMIT FINL GROUP INC | 86606G101 | COM | 2,537 | $59,000 | thousands by filing date | |
| CORIUM INTL INC | 21887L107 | COM | 6,194 | $59,000 | thousands by filing date | |
| CADIZ INC | 127537207 | COM NEW | 5,237 | $58,000 | thousands by filing date | |
| PDF SOLUTIONS INC | 693282105 | COMMON STOCK | 6,412 | $58,000 | thousands by filing date | |
| CENTURY CASINOS INC | 156492100 | COM | 7,706 | $58,000 | thousands by filing date | |
| CCA INDUSTRIES INC | 124867102 | COMM STK | 19,958 | $58,000 | thousands by filing date | |
| PROTECTIVE INSURANCE CORP- B | 74368l203 | COM | 2,523 | $58,000 | thousands by filing date | |
| ENI SPA SPONSORED ADR | 26874R108 | ADR | 1,508 | $57,000 | thousands by filing date | |
| GREEN BRICK PARTNERS INC | 392709101 | COM | 5,682 | $57,000 | thousands by filing date | |
| CONSOLIDATED TOMOKA LAND CO | 210226106 | COMMON STOCK | 924 | $57,000 | thousands by filing date | |
| STERLING BANCORP INC | 85917W102 | COM | 5,069 | $57,000 | thousands by filing date | |
| DOVA PHARMACEUTICALS INC | 25985T102 | COM | 2,728 | $57,000 | thousands by filing date | |
| ERIE INDTY CO CL A | 29530P102 | Stock | 439 | $56,000 | thousands by filing date | |
| FLEXSHARES TR | 33939L308 | MSTAR EMKT FAC | 1,078 | $56,000 | thousands by filing date | |
| VANECK INTERNATIONAL HIGH YIEL | 92189F445 | INTERNATIONAL HI | 2,293 | $56,000 | thousands by filing date | |
| UFP TECHNOLOGIES INC | 902673102 | COM | 1,534 | $56,000 | thousands by filing date | |
| AV HOMES INC | 00234P102 | COM | 2,783 | $56,000 | thousands by filing date | |
| FIRST CHOICE BANCORP | 31948P104 | COM | 2,079 | $56,000 | thousands by filing date | |
| CECO ENVIRONMENTAL CORP | 125141101 | COM | 7,026 | $55,000 | thousands by filing date | |
| C F FINANCIAL CORP | 12466Q104 | COMMON STOCK | 943 | $55,000 | thousands by filing date | |
| WESTLAKE CHEMICAL PARTNERS LP | 960417103 | COM | 2,200 | $55,000 | thousands by filing date | |
| Rithm Property Trust Inc | 38983D300 | REIT | 3,985 | $55,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 5,395 | $55,000 | thousands by filing date | |
| ATHERSYS INC | 04744L106 | COM | 26,265 | $55,000 | thousands by filing date | |
| MIZUHO FINANCIAL GROUP INC SPONSORED ADR | 60687Y109 | ADR | 15,398 | $54,000 | thousands by filing date | |
| SIMULATIONS PLUS INC | 829214105 | COM | 2,665 | $54,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 3,500 | $54,000 | thousands by filing date | |
| AMES NATIONAL CORP | 031001100 | COMMON STOCK | 1,995 | $54,000 | thousands by filing date | |
| GUARANTY BANCSHARES INC | 400764106 | COMMON STOCK | 1,782 | $54,000 | thousands by filing date | |
| HOWARD BANCORP INC COM | 442496105 | COM | 3,028 | $54,000 | thousands by filing date | |
| CASI PHARMACEUTICALS INC | 14757U109 | COM | 11,567 | $54,000 | thousands by filing date | |
| iShares S&P Global Clean Energy Index Fund | 464288224 | COM | 6,150 | $53,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 7,579 | $53,000 | thousands by filing date | |
| MIDSOUTH BANCORP INC | 598039105 | COMMON STOCK | 3,465 | $53,000 | thousands by filing date | |
| PACIFIC CITY FINANCIAL CORP | 69406T408 | COM NEW | 2,745 | $53,000 | thousands by filing date | |
| VILLAGE SUPER MKT INC CL A NEW | 927107409 | Stock | 1,904 | $52,000 | thousands by filing date | |
| FIRST TRUST HIGH YIELD LONG/SH | 33738D408 | FIRST TR TA HIYL | 1,084 | $52,000 | thousands by filing date | |
| NORWOOD FINANCIAL CORP | 669549107 | COMMON STOCK | 1,332 | $52,000 | thousands by filing date | |
| FORESTAR GROUP INC | 346232101 | COMMON STOCK | 2,443 | $52,000 | thousands by filing date | |
| GRUPO SUPERVIELLE S.A. | 40054A108 | CMN | 6,825 | $52,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 2,000 | $51,000 | thousands by filing date | |
| ARDMORE SHIPPING CORP | Y0207T100 | COM | 7,829 | $51,000 | thousands by filing date | |
| ARQ INC | 00770C101 | COM | 4,282 | $51,000 | thousands by filing date | |
| CARBO CERAMICS INC | 140781105 | COMMON STOCK | 7,020 | $51,000 | thousands by filing date | |
| EVANS BANCORP INC | 29911Q208 | COM | 1,082 | $51,000 | thousands by filing date | |
| LUTHER BURBANK CORP | 550550107 | COM | 4,720 | $51,000 | thousands by filing date | |
| PRGX GLOBAL INC | 69357C503 | COM NEW | 5,856 | $51,000 | thousands by filing date | |
| ASHFORD INC | 044104107 | COM | 679 | $51,000 | thousands by filing date | |
| JIANPU TECHNOLOGY INC | 47738D101 | ADR | 10,433 | $51,000 | thousands by filing date | |
| MGC | 921910873 | COM | 500 | $50,000 | thousands by filing date | |
| INVESCO ACTIVELY MANAGED EXC | 46090A879 | VAR RATE INVT | 2,000 | $50,000 | thousands by filing date | |
| FIRST BANK HAMILTON NJ | 31931U102 | COMMON STOCK | 3,781 | $50,000 | thousands by filing date | |
| UNIVERSAL STAINLESS & ALLOY | 913837100 | COM | 1,943 | $50,000 | thousands by filing date | |
| MUTUALFIRST FINANCIAL INC | 62845B104 | COM | 1,354 | $50,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 3,170 | $49,000 | thousands by filing date | |
| FTAI AVIATION LTD | 34960P101 | COM | 2,700 | $49,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 20,741 | $49,000 | thousands by filing date | |
| CELLCOM ISRAEL LTD | M2196U109 | SHS | 7,161 | $49,000 | thousands by filing date | |
| CELLULAR BIOMEDICINE GROUP I | 15117P102 | COM NEW | 2,692 | $49,000 | thousands by filing date | |
| CASTLIGHT HEALTH INC CL B | 14862Q100 | Stock | 18,191 | $49,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138E370 | S&P 500 HB ETF | 1,067 | $48,000 | thousands by filing date | |
| OMEGA FLEX INC | 682095104 | COMMON STOCK | 674 | $48,000 | thousands by filing date | |
| STAR GROUP LP | 85512C105 | UNIT LTD PARTNR | 4,960 | $48,000 | thousands by filing date | |
| UNION BANKSHARES INC | 905400107 | CMN | 902 | $48,000 | thousands by filing date | |
| CRAFT BREW ALLIANCE INC | 224122101 | COM | 2,973 | $48,000 | thousands by filing date | |
| CALYXT INC | 13173L107 | COM | 3,145 | $48,000 | thousands by filing date | |
| BELLATRIX EXPLORATION LTD | 078314507 | COM NEW | 45,073 | $48,000 | thousands by filing date | |
| CARDTRONICS INC | 14161HAG3 | NOTE 1.000%12/0 | 50,000 | $48,000 | thousands by filing date | principal |
| ISHARES TR | 464287382 | JPX NIKKEI 400 | 727 | $47,000 | thousands by filing date | |
| BANCO DE CHILE | 059520106 | SPONSORED ADS | 513 | $47,000 | thousands by filing date | |
| IDT CORP | 448947507 | CL B NEW | 8,772 | $47,000 | thousands by filing date | |
| SILVERCREST ASSET MANAGEME A | 828359109 | COMMON STOCK | 3,352 | $47,000 | thousands by filing date | |
| NEURONETICS INC | 64131A105 | COM | 1,479 | $47,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 45,190 | $47,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 46,528 | $47,000 | thousands by filing date | |
| Schwab Fundamental Emerging Markets Equity ETF | 808524730 | SHS | 1,596 | $46,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 1,613 | $46,000 | thousands by filing date | |
| PURE CYCLE CORP | 746228303 | COMMON STOCK | 3,961 | $46,000 | thousands by filing date | |
| RGC RESOURCES INC | 74955L103 | COMMON STOCK | 1,713 | $46,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 542 | $46,000 | thousands by filing date | |
| PLYMOUTH INDL REIT INC COM | 729640102 | REIT | 2,938 | $46,000 | thousands by filing date | |
| AXOVANT SCIENCES LTD | G0750W104 | COM | 18,853 | $46,000 | thousands by filing date | |
| PENNS WOODS BANCORP INC | 708430103 | COM | 1,060 | $46,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G109 | COM | 7,304 | $46,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 11,004 | $46,000 | thousands by filing date | |
| RED LION HOTELS CORP | 756764106 | COM | 3,683 | $46,000 | thousands by filing date | |
| OIL DRI CORP AMER COM | 677864100 | Stock | 1,163 | $45,000 | thousands by filing date | |
| ZILLOW GROUP INC CLASS A | 98954M101 | CL A | 1,027 | $45,000 | thousands by filing date | |
| OAKTREE SPECIALTY LENDING CORP | 67401P108 | COM | 8,943 | $45,000 | thousands by filing date | |
| ISHARES TR | 464288117 | INTL TREA BD ETF | 925 | $45,000 | thousands by filing date | |
| FIDELITY DD BANCORP INC | 31609R100 | COMMON STOCK | 647 | $45,000 | thousands by filing date | |
| ROCKY BRANDS INC | 774515100 | COMMON STOCK | 1,583 | $45,000 | thousands by filing date | |
| ISHARES TR | 464288125 | 3YRTB ETF | 553 | $45,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 11,614 | $45,000 | thousands by filing date | |
| IEC ELECTRS CORP NEW | 44949L105 | COM | 8,605 | $45,000 | thousands by filing date | |
| PYXUS INTL INC | 74737V106 | COM | 1,943 | $45,000 | thousands by filing date | |
| SPDR Portfolio Long Term Corporate Bond ETF | 78464A367 | SHS | 1,694 | $44,000 | thousands by filing date | |
| ARK ETF TR | 00214Q609 | ISRAEL INOVATE | 2,000 | $44,000 | thousands by filing date | |
| NWPX INFRASTRUCTURE INC | 667746101 | COM | 2,212 | $44,000 | thousands by filing date | |
| GARRISON CAP INC | 366554103 | COM | 5,300 | $44,000 | thousands by filing date | |
| ARDELYX INC | 039697107 | COM | 10,125 | $44,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 6,705 | $44,000 | thousands by filing date | |
| DIREXION SHS ETF TR | 25490K281 | DLY EMG MK BL 3X | 517 | $44,000 | thousands by filing date | |
| AKEBIA THREAPEUTICS INC | 00972D905 | COM | 5,000 | $44,000 | thousands by filing date | call |
| AMALGAMATED BANK | 022663108 | COMMON STOCK | 2,272 | $44,000 | thousands by filing date | |
| SILVERBOW RES INC | 82836G102 | COM | 1,642 | $44,000 | thousands by filing date | |
| COMMUNITY BANKERS TRUST CORP | 203612106 | COM | 4,974 | $44,000 | thousands by filing date | |
| POLARITYTE INC | 731094108 | COM | 2,315 | $44,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867109 | COM CL A | 4,067 | $44,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 8,273 | $43,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 20,171 | $43,000 | thousands by filing date | |
| FOUNDATION BLDG MATLS INC | 350392106 | COM | 3,416 | $43,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C680 | COM | 263 | $42,000 | thousands by filing date | |
| TENARIS S A SPONSORED ADS | 88031M109 | ADR | 1,225 | $42,000 | thousands by filing date | |
| ISHARES TR | 46429B291 | A RATE CP BD ETF | 823 | $42,000 | thousands by filing date | |
| STRATUS PPTYS INC | 863167201 | COM NEW | 1,370 | $42,000 | thousands by filing date | |
| XINYUAN REAL ESTATE CO LTD | 98417P105 | SPONS ADR | 9,263 | $42,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J104 | COM | 3,970 | $42,000 | thousands by filing date | |
| NAPCO SEC TECHNOLOGIES INC COM | 630402105 | Stock | 2,746 | $41,000 | thousands by filing date | |
| TFS FINL CORP | 87240R107 | COM | 2,700 | $41,000 | thousands by filing date | |
| EVOLUS INC | 30052C107 | COM | 2,209 | $41,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 750 | $41,000 | thousands by filing date | |
| I3 VERTICALS INC | 46571Y107 | COM CL A | 1,788 | $41,000 | thousands by filing date | |
| ORRSTOWN FINL SERVICES INC | 687380105 | COMMON STOCK | 1,722 | $41,000 | thousands by filing date | |
| UNITY BANCORP INC | 913290102 | COMMON STOCK | 1,789 | $41,000 | thousands by filing date | |
| RUSH ENTERPRISES INC CL B | 781846308 | COMMON STOCK | 1,029 | $41,000 | thousands by filing date | |
| INCYTE CORP | 45337C902 | COM | 600 | $41,000 | thousands by filing date | call |
| COHEN & STEERS MLP INC & ENR | 19249B106 | COM SHS | 3,886 | $41,000 | thousands by filing date | |
| EARTHSTONE ENERGY INC | 27032D304 | COMMON STOCK | 4,373 | $41,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 45,000 | $41,000 | thousands by filing date | |
| IES HOLDINGS INC | 44951W106 | COM | 2,013 | $40,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 2,841 | $40,000 | thousands by filing date | |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 2,746 | $40,000 | thousands by filing date | |
| MARINE PRODS CORP | 568427108 | cs | 1,742 | $40,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 1,346 | $39,000 | thousands by filing date | |
| LCNB CORP | 50181P100 | COM | 2,083 | $39,000 | thousands by filing date | |
| CLOUD PEAK ENERGY INC | 18911Q102 | COM | 17,157 | $39,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K405 | COM PAR | 4,421 | $39,000 | thousands by filing date | |
| INDEPENDENCE CONTRACT DRIL I | 453415309 | COM | 7,950 | $39,000 | thousands by filing date | |
| NIAGEN BIOSCIENCE INC | 171077407 | COM NEW | 8,914 | $38,000 | thousands by filing date | |
| NI HOLDINGS INC | 65342T106 | COMMON STOCK | 2,249 | $38,000 | thousands by filing date | |
| KINIKSA PHARMACEUTICALS LTD | G5269C101 | COM CL A | 1,503 | $38,000 | thousands by filing date | |
| COMMUNITY FINL CORP MD | 20368X101 | COM | 1,122 | $38,000 | thousands by filing date | |
| TELIGENT INC NEW | 87960W104 | COM | 9,527 | $38,000 | thousands by filing date | |
| SCHOLAR ROCK HLDG CORP | 80706P103 | COM | 1,441 | $37,000 | thousands by filing date | |
| TILRAY INC | 88688T100 | COM CL 2 | 257 | $37,000 | thousands by filing date | |
| Radcom Ltd | M81865111 | COM | 3,300 | $37,000 | thousands by filing date | |
| CUE BIOPHARMA INC | 22978P106 | COM | 4,094 | $37,000 | thousands by filing date | |
| USA TRUCK INC | 902925106 | COM | 1,834 | $37,000 | thousands by filing date | |
| NCS MULTISTAGE HLDGS INC | 628877102 | COM | 2,265 | $37,000 | thousands by filing date | |
| SPROTT PHYSICAL SILVER TR | 85207K107 | TR UNIT | 6,760 | $36,000 | thousands by filing date | |
| EASTERN CO | 276317104 | COM | 1,263 | $36,000 | thousands by filing date | |
| ESSA BANCORP INC COM | 29667D104 | Stock | 2,203 | $36,000 | thousands by filing date | |
| SI FINL GROUP INC MD | 78425V104 | COM | 2,569 | $36,000 | thousands by filing date | |
| PRUDENTIAL BANCORP INC NEW | 74431A101 | COM | 2,057 | $36,000 | thousands by filing date | |
| OHIO VY BANC CORP | 677719106 | COM | 951 | $35,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 3,053 | $35,000 | thousands by filing date | |
| CLEARFIELD INC | 18482P103 | COMMON STOCK | 2,602 | $35,000 | thousands by filing date | |
| PULSE BIOSCIENCES INC | 74587B101 | COMMON STOCK | 2,461 | $35,000 | thousands by filing date | |
| MVB FINANCIAL CORP | 553810102 | COMMON STOCK | 1,949 | $35,000 | thousands by filing date | |
| BOSTON OMAHA CORP CL A | 101044105 | COMMON STOCK | 1,169 | $35,000 | thousands by filing date | |
| KOPIN CORP | 500600101 | COMMON STOCK | 14,321 | $35,000 | thousands by filing date | |
| Rafael Holdings Inc Class B | 75062E106 | COM | 4,127 | $35,000 | thousands by filing date | |
| PIER 1 IMPORTS INC | 720279108 | COM | 23,590 | $35,000 | thousands by filing date | |
| Malvern Bancorp, Inc. | 561409103 | Common Stock | 1,480 | $35,000 | thousands by filing date | |
| 1ST CONSTITUTION BANCORP | 31986N102 | COM | 1,699 | $35,000 | thousands by filing date | |
| GOLD FIELDS LTD SPONSORED ADR | 38059T106 | ADR | 13,933 | $34,000 | thousands by filing date | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 595 | $34,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V142 | WATER RES ETF | 1,078 | $34,000 | thousands by filing date | |
| OP BANCORP | 67109R109 | COMMON STOCK | 2,926 | $34,000 | thousands by filing date | |
| SAFE BULKERS INC | Y7388L103 | COMMON STOCK | 11,780 | $34,000 | thousands by filing date | |
| FIRST NORTHWEST BANCORP | 335834107 | COM | 2,208 | $34,000 | thousands by filing date | |
| UNITED SEC BANCSHARES CALIF | 911460103 | COM | 3,040 | $34,000 | thousands by filing date | |
| ENVIROSTAR INC EVI | 29414M100 | COMMON | 868 | $34,000 | thousands by filing date | |
| SUMMIT THERAPEUTICS INC COM | 86627R102 | Stock | 15,144 | $34,000 | thousands by filing date | |
| UNITY BIOTECHNOLOGY INC | 91381U101 | COM | 2,094 | $34,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 5,718 | $34,000 | thousands by filing date | |
| EGAIN CORP | 28225C806 | COM NEW | 4,094 | $33,000 | thousands by filing date | |
| CB FINANCIAL SERVICES INC | 12479G101 | COMMON STOCK | 1,082 | $33,000 | thousands by filing date | |
| OAK VALLEY BANCORP | 671807105 | COMMON STOCK | 1,606 | $32,000 | thousands by filing date | |
| MID PENN BANCORP INC | 59540G107 | COMMON STOCK | 1,089 | $32,000 | thousands by filing date | |
| ESCALADE INC | 296056104 | COMMON STOCK | 2,468 | $32,000 | thousands by filing date | |
| SAGA COMMUNICATIONS INC | 786598300 | CL A NEW | 884 | $32,000 | thousands by filing date | |
| ITERIS INC NEW | 46564T107 | COM | 5,889 | $32,000 | thousands by filing date | |
| SELECT BANCORP INC NEW COM | 81617L108 | Stock | 2,606 | $32,000 | thousands by filing date | |
| FIRST FINANCIAL NORTHWEST IN | 32022K102 | COM | 1,931 | $32,000 | thousands by filing date | |
| SEA LTD | 81141R100 | SPONSORD ADS | 2,243 | $31,000 | thousands by filing date | |
| LIQUIDIA CORPORATION COM NEW | 53635D202 | Stock | 1,130 | $31,000 | thousands by filing date | |
| CHINA TELECOM CORP LTD | 169426103 | SPON ADR H SHS | 615 | $31,000 | thousands by filing date | |
| REPOSITRAK INC | 700215304 | COMMON STOCK | 3,085 | $31,000 | thousands by filing date | |
| PEOPLES BANCORP OF NC | 710577107 | COMMON STOCK | 1,075 | $31,000 | thousands by filing date | |
| CAPSTAR FINL HLDGS INC | 14070T102 | COM | 1,828 | $31,000 | thousands by filing date | |
| HOUSTON WIRE & CABLE CO | 44244K109 | COM | 3,998 | $31,000 | thousands by filing date | |
| ORGANOVO HOLDINGS INC | 68620A104 | COMMON | 27,722 | $31,000 | thousands by filing date | |
| PDL CMNTY BANCORP | 69290X101 | COM | 2,036 | $31,000 | thousands by filing date | |
| BLUEGREEN VACATIONS CORP | 09629F108 | COM | 1,727 | $31,000 | thousands by filing date | |
| ORIX CORP SPONSORED ADR | 686330101 | ADR | 365 | $30,000 | thousands by filing date | |
| SCHWAB STRATEGIC TR | 808524888 | INTL SCEQT ETF | 849 | $30,000 | thousands by filing date | |
| FIRST UNITED CORP | 33741H107 | COMMON STOCK | 1,583 | $30,000 | thousands by filing date | |
| IRADIMED CORP | 46266A109 | COMMON STOCK | 811 | $30,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED FD | 33734G108 | CMN | 1,291 | $30,000 | thousands by filing date | |
| FIRSTENERGY CORP | 337932957 | COM | 800 | $30,000 | thousands by filing date | put |
| AGM GROUP HOLDINGS INC | G0132V105 | SHS CL A | 830 | $30,000 | thousands by filing date | |
| COUNTY BANCORP INC | 221907108 | COM | 1,187 | $30,000 | thousands by filing date | |
| FIRST GTY BANCSHARES INC | 32043P106 | COM | 1,115 | $29,000 | thousands by filing date | |
| CRAWFORD & CO | 224633107 | COM | 3,127 | $29,000 | thousands by filing date | |
| AQUABOUNTY TECHNOLOGIES INC | 03842K200 | COM NEW | 8,925 | $29,000 | thousands by filing date | |
| FIRST SVGS FINL GROUP INC | 33621E109 | COM | 422 | $29,000 | thousands by filing date | |
| INNOVATE BIOPHARMACEUTICLS I | 45782F105 | COM PAR | 4,285 | $29,000 | thousands by filing date | |
| PROVIDENT BANCORP INC | 74383X109 | COM | 999 | $29,000 | thousands by filing date | |
| IVLU | 46435G409 | COM | 1,100 | $28,000 | thousands by filing date | |
| ALCENTRA CAP CORP | 01374T102 | COM | 4,600 | $28,000 | thousands by filing date | |
| ASPEN AEROGELS INC | 04523Y105 | COMMON STOCK | 6,090 | $28,000 | thousands by filing date | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 1,732 | $28,000 | thousands by filing date | |
| CONSOL COAL RESOURCES LP | 20855T100 | COM UNIT | 1,584 | $28,000 | thousands by filing date | |
| CHIPMOS TECHNOLOGIES INC SPONSORED ADR | 16965P103 | ADR | 1,825 | $28,000 | thousands by filing date | |
| GLOBAL WATER RESOURCES INC | 379463102 | COMMON STOCK | 2,506 | $27,000 | thousands by filing date | |
| INVESCO INDIA EXCHANGE-TRADE | 46137R109 | INDIA ETF | 1,107 | $27,000 | thousands by filing date | |
| TYME TECHNOLOGIES INC COM | 90238J103 | Stock | 9,730 | $27,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V589 | GBL LISTED PVT | 2,180 | $27,000 | thousands by filing date | |
| XERIS PHARMACEUTICALS INC | 98422L107 | COM | 1,532 | $27,000 | thousands by filing date | |
| KEY ENERGY SVCS INC DEL | 49309J103 | COM | 2,368 | $27,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J174 | DEV MRK EX US | 434 | $26,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V811 | S&P500 EQL HIG | 389 | $26,000 | thousands by filing date | |
| KCAP FINANCIAL INC | 48668E101 | COM | 7,722 | $26,000 | thousands by filing date | |
| CSP INC | 126389105 | CMN | 2,000 | $26,000 | thousands by filing date | |
| AZURE POWER GLOBAL LTD | V0393H103 | COM | 1,600 | $26,000 | thousands by filing date | |
| KEZAR LIFE SCIENCES INC | 49372L100 | COM | 1,192 | $26,000 | thousands by filing date | |
| MALLINCKRODT PUB LTD CO | G5785G907 | COM | 900 | $26,000 | thousands by filing date | call |
| HEXINDAI INC | 428295109 | ADR | 3,355 | $26,000 | thousands by filing date | |
| J JILL INC | 46620W102 | COM | 4,088 | $26,000 | thousands by filing date | |
| MITSUBISHI UFJ FINANCIAL GROUP SPONSORED ADS | 606822104 | ADR | 4,044 | $25,000 | thousands by filing date | |
| COASTAL FINL CORP WA | 19046P209 | COM NEW | 1,476 | $25,000 | thousands by filing date | |
| GENCOR INDUSTRIES INC | 368678108 | COMMON STOCK | 2,039 | $25,000 | thousands by filing date | |
| SIEBERT FINL CORP | 826176109 | COM | 1,718 | $25,000 | thousands by filing date | |
| AUBURN NATL BANCORP | 050473107 | COM | 648 | $25,000 | thousands by filing date | |
| TRINITY PLACE HOLDINGS ORD | 89656D101 | COM | 4,063 | $25,000 | thousands by filing date | |
| INVESCO EXCH TRADED FD TR II | 46138G847 | GBL CLEAN ENRG | 2,000 | $24,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J232 | SWITZLND ALPHA | 465 | $24,000 | thousands by filing date | |
| BIG 5 SPORTING GOODS CORP | 08915P101 | COM | 4,650 | $24,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 5,492 | $24,000 | thousands by filing date | |
| NEW HOME CO INC COM | 645370107 | COM | 2,999 | $24,000 | thousands by filing date | |
| ECLIPSE RES CORP | 27890G100 | COM | 20,386 | $24,000 | thousands by filing date | |
| JAGGED PEAK ENERGY INC | 47009K957 | PUT | 1,700 | $24,000 | thousands by filing date | put |
| SPDR Bloomberg Emerging Markets Local Bond ETF | 78464A391 | SHS | 891 | $23,000 | thousands by filing date | |
| VANGUARD INTL EQUITY INDEX F | 922042676 | COM | 417 | $23,000 | thousands by filing date | |
| OXFORD SQUARE CAP CORP | 69181V107 | COM | 3,229 | $23,000 | thousands by filing date | |
| NATURES SUNSHINE PRODS INC | 639027101 | COMMON STOCK | 2,610 | $23,000 | thousands by filing date | |
| XOMA ROYALTY CORPORATION | 98419J206 | COMMON STOCK | 1,322 | $23,000 | thousands by filing date | |
| GREENE COUNTY BANCORP INC | 394357107 | COMMON STOCK | 704 | $23,000 | thousands by filing date | |
| FIRST TR EXCH TRD ALPHDX FD | 33737J190 | GERMANY ALPHA | 485 | $23,000 | thousands by filing date | |
| Fte Networks Inc | 30283R402 | COM | 1,930 | $23,000 | thousands by filing date | |
| APPROACH RESOURCES INC | 03834A103 | COM | 10,433 | $23,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 21,358 | $23,000 | thousands by filing date | |
| DIEBOLD INC | 253651953 | COM | 5,000 | $23,000 | thousands by filing date | put |
| TRANSLATE BIO INC. | 89374L104 | Common Stock | 2,271 | $23,000 | thousands by filing date | |
| MARRONE BIO INNOVATIONS INC | 57165B106 | COM | 12,636 | $23,000 | thousands by filing date | |
| FENNEC PHARMACEUTICALS INC | 31447P100 | COMMON STOCK | 2,687 | $22,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 6,026 | $22,000 | thousands by filing date | |
| CUMBERLAND PHARMACEUTICALS I | 230770109 | COM | 3,868 | $22,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 1,344 | $22,000 | thousands by filing date | |
| MUSTANG BIO INC | 62818Q104 | COM | 3,739 | $22,000 | thousands by filing date | |
| AQUESTIVE THERAPEUTICS INC COM | 03843E104 | Stock | 1,210 | $21,000 | thousands by filing date | |
| CELSIUS HLDGS INC | 15118V207 | COM NEW | 5,291 | $21,000 | thousands by filing date | |
| AEGON N V | 007924103 | NY REGISTRY SHS | 3,271 | $21,000 | thousands by filing date | |
| UNITED STATES COMMODITY INDE | 911717106 | Common Stock | 500 | $21,000 | thousands by filing date | |
| SMART SAND INC | 83191H107 | COM | 5,154 | $21,000 | thousands by filing date | |
| UNDER ARMOUR INC | 904311957 | PUT | 1,000 | $21,000 | thousands by filing date | put |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 4,700 | $21,000 | thousands by filing date | |
| SEASPAN CORP | Y75638109 | SHS | 2,514 | $21,000 | thousands by filing date | |
| ISRAMCO INC | 465141406 | COM | 171 | $21,000 | thousands by filing date | |
| FUELCELL ENERGY INC | 35952H502 | COM NEW | 19,880 | $21,000 | thousands by filing date | |
| LOVESAC COMPANY | 54738L109 | COM | 818 | $20,000 | thousands by filing date | |
| MAUI LAND PINEAPPLE CO | 577345101 | COMMON STOCK | 1,571 | $20,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V571 | GLOBAL DRGN CN | 509 | $20,000 | thousands by filing date | |
| VICTORY PORTFOLIOS II | 92647N782 | CMN | 385 | $20,000 | thousands by filing date | |
| JAKKS PACIFIC INC | 47012E106 | COMMON STOCK | 7,829 | $20,000 | thousands by filing date | |
| MID-CON ENERGY PARTNERS LP | 59560V109 | COMMON STOCK | 12,944 | $20,000 | thousands by filing date | |
| GAZIT GLOBE LTD | M4793C102 | SHS | 2,186 | $20,000 | thousands by filing date | |
| KORNIT DIGITAL LTD | M6372Q113 | SHS | 888 | $19,000 | thousands by filing date | |
| ISHARES TR | 464288562 | RESIDENTIAL MULT | 300 | $19,000 | thousands by filing date | |
| KAYNE ANDERSON NEXTGEN ENERGY | 48661E108 | COM | 1,457 | $19,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 1,600 | $19,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 1,864 | $19,000 | thousands by filing date | |
| NUVEEN MINN QUALITY MUN INM | 670734102 | SHS | 1,500 | $19,000 | thousands by filing date | |
| LATAM AIRLS GROUP S A | 51817R106 | SPONSORED ADR | 2,080 | $19,000 | thousands by filing date | |
| UBS AG LONDON BRH | 90267B682 | ETRAC ALER MLP | 1,090 | $19,000 | thousands by filing date | |
| REMARK HLDGS INC | 75955K102 | COM | 5,962 | $19,000 | thousands by filing date | |
| THERAPEUTICSMD INC | 88338N957 | COM | 2,900 | $19,000 | thousands by filing date | put |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 352 | $18,000 | thousands by filing date | |
| ETFIS SER TR I | 26923G400 | INFRACP REIT PFD | 750 | $18,000 | thousands by filing date | |
| ISHARES TR | 46429B507 | MSCI IRELAND ETF | 399 | $18,000 | thousands by filing date | |
| HARLEY DAVIDSON INC | 412822908 | COM | 400 | $18,000 | thousands by filing date | call |
| NYMOX PHARMACEUTICAL CORP ORD SHS Corp | P73398102 | Common Stock | 7,500 | $18,000 | thousands by filing date | |
| HOEGH LNG PARTNERS LP | Y3262R100 | COM UNIT LTD | 1,000 | $18,000 | thousands by filing date | |
| SURFACE ONCOLOGY INC | 86877M209 | COM | 1,683 | $18,000 | thousands by filing date | |
| ZOMEDICA PHARMACEUTICALS COR | 98979F107 | COM | 9,550 | $18,000 | thousands by filing date | |
| INVESCO EXCHANGE TRADED FD T | 46137V282 | S&P500 EQL TEC | 100 | $17,000 | thousands by filing date | |
| ASTRANA HEALTH INC | 03763A207 | COM NEW | 770 | $17,000 | thousands by filing date | |
| COMPX INTERNATIONAL INC | 20563P101 | COMMON STOCK | 1,240 | $17,000 | thousands by filing date | |
| INTERCONTINENTAL HOTELS GROU | 45857P707 | SPONSORED ADR | 259 | $17,000 | thousands by filing date | |
| Impac Mortgage Holdings Inc | 45254P508 | COM NEW | 2,273 | $17,000 | thousands by filing date | |
| REALNETWORKS INC | 75605L708 | COM | 5,673 | $17,000 | thousands by filing date | |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R129 | *W EXP 99/99/999 | 15,896 | $17,000 | thousands by filing date | principal |
| INVESCO EXCHANGE TRADED FD T | 46137V613 | RAFI US 1000 ETF | 141 | $16,000 | thousands by filing date | |
| FIRST TR EXCHANGE-TRADED ALP | 33733C108 | SHS ISSUED FRST | 285 | $16,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 12,625 | $16,000 | thousands by filing date | |
| Fluent Co | 34380C102 | COM | 7,548 | $16,000 | thousands by filing date | |
| ABRDN PHYSICAL SILVER SHARES ETF | 26922X107 | COM | 1,097 | $16,000 | thousands by filing date | |
| ISHARES TR | 464288653 | 10-20 YR TRS ETF | 117 | $15,000 | thousands by filing date | |
| SPDR SER TR | 78464A821 | S&P 400 MDCP GRW | 270 | $15,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 744 | $15,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F817 | VANECK VIETNAM | 888 | $15,000 | thousands by filing date | |
| INVESCO DB PRECIOUS METALS FUND | 46140H502 | ETF | 429 | $15,000 | thousands by filing date | |
| ISHARES TR | 464288174 | GL TIMB FORE ETF | 200 | $15,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 1,763 | $15,000 | thousands by filing date | |
| CONTROLADORA VUELA COMP DE A | 21240E105 | SPON ADR RP 10 | 2,000 | $15,000 | thousands by filing date | |
| PAPA JOHNS INTL INC | 698813952 | PUT | 300 | $15,000 | thousands by filing date | put |
| EVELO BIOSCIENCES INC | 299734103 | COM | 1,242 | $15,000 | thousands by filing date | |
| IMMUNOGEN INC CMN STK | 45253H951 | Cmn | 1,600 | $15,000 | thousands by filing date | put |
| NEWATER TECHNOLOGY INC | G64335105 | SHS | 1,658 | $15,000 | thousands by filing date | |
| ITUS CORP | 45069V203 | COM NEW | 3,238 | $15,000 | thousands by filing date | |
| SPDR Portfolio High Yield Bond ETF | 78468R606 | SHS | 556 | $14,000 | thousands by filing date | |
| NEW YORK LIFE INVESTMENTS ET | 45409B107 | NYLI HEDGE MULTI | 450 | $14,000 | thousands by filing date | |
| GLOBAL PARTNERS LP | 37946R109 | COM UNITS | 763 | $14,000 | thousands by filing date | |
| RIMINI STR INC DEL | 76674Q107 | COM | 2,265 | $14,000 | thousands by filing date | |
| CHARAH SOLUTIONS INC | 15957P105 | COM | 1,714 | $14,000 | thousands by filing date | |
| CONTRAVIR PHARMACEUTICALS IN | 21234W202 | COM NEW | 25,000 | $14,000 | thousands by filing date | |
| Vanguard Materials ETF | 92204A801 | SHS | 96 | $13,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000019617-18-000208 | superseded | 2018-11-07 | acceptance time not in the bulk data set | |
| 13F-HR/A 0000019617-18-000246 | this filing | 2018-11-13 | acceptance time not in the bulk data set |